AMI 5.3.1

(1) An Authorised Market Institution must, for the purpose of proper discharge of its Regulatory Functions, have at all times individuals appointed to carry out the functions of the:
(a) Governing Body;
(b) Senior Executive Officer;
(c) Finance Officer;
(d) Compliance Officer;
(e) Risk Officer;
(f) Money Laundering Reporting Officer; and
(g) Internal Auditor.
(2) Each of the functions of an Authorised Market Institution specified in (1)(a) to (g) are Licensed Functions for the purposes of Article 43(1) of the Regulatory Law.
Derived from RM118/2013 [VER15/07-13]
[Amended] DFSA RM133/2014 (Made 21st August 2014). [VER16/06-14]